Associate Principal, Regulatory Policy

OCC • Washington, DC

1d • $112,500 - $160,900 • Hybrid

About The Position

The Associate Principal, Regulatory Policy supports and works alongside the Principal of Regulatory Policy and reports to the Executive Director, Head of Government Relations. This contributor helps support designated workstreams within OCC’s Regulatory Policy function, including: monitoring and analyzing domestic and international regulatory developments that may impact OCC, OCC’s clearing members, and the U.S. listed options industry; contributing to OCC’s regulatory advocacy strategy and engagement with regulators and standard-setting bodies; coordinating with the Legal Department, stakeholders, and SMEs on regulatory submissions; and supporting senior leadership for regulatory engagements.

Requirements

• Working knowledge of the U.S. and international regulatory frameworks applicable to clearing organizations, securities markets, derivatives markets, and securities lending is strongly preferred.
• General familiarity with the clearing and settlement and risk management functions of a clearing organization is welcome.
• Strong analytical, organizational, written, and verbal communication skills required, including the ability to communicate complex and technical regulatory issues to diverse audiences in a clear, authoritative, and actionable manner.
• Demonstrated ability to collaborate effectively across departments and to flex across responsibilities as departmental needs evolve.
• Must cultivate strong working relationships with a broad range of internal and external stakeholders, including senior leadership, regulators, and industry counterparts.
• Must exercise good judgment, use discretion, and work effectively under pressure in a self-directed manner within a collaborative, team-oriented environment.
• Must demonstrate the ability to lead and manage multiple complex projects simultaneously in a deadline-oriented environment, with the capacity to operate independently on substantive regulatory matters.
• Proficient in Microsoft Office, including Word, Excel, and PowerPoint.
• Bachelor’s degree required; majoring in political science, public policy, finance, economics, communications, or business is welcome.
• Three to five or more years (3–5+) of experience required.
• Prior experience in financial services regulatory policy, at a regulatory agency (e.g., SEC, CFTC, Federal Reserve), at a financial industry trade association, or at a regulated financial institution is especially desirable.

Nice To Haves

• Experience with regulatory tracking platforms (e.g., Bloomberg Government) is a plus.

Responsibilities

• Support the monitoring, analysis, and tracking of domestic and international regulatory policy developments, including rulemakings, guidance, consultations, open meetings, advisory committee sessions, and other proceedings of the SEC, CFTC, Federal Reserve, CPMI-IOSCO, the Basel Committee, the Financial Stability Board (FSB), ESMA, the Bank of England (BOE), and other regulatory and standard-setting bodies.
• Produce time-sensitive analyses, briefings, and reports for OCC leadership covering the impact of those developments.
• Support and partner with the Principal of Regulatory Policy and the Head of Government Relations in shaping and executing OCC’s regulatory advocacy strategy.
• As directed, lead designated regulatory workstreams end to end, including identifying OCC’s engagement opportunities, supporting development of OCC’s positioning and messaging on key regulatory priorities, and supporting escalation of complex or high-priority issues to senior leadership.
• Support the research, development and submission of OCC comment letters and other regulatory filings in close partnership with the Legal Department, the relevant business units, and other internal stakeholders.
• Manage comment-letter deadlines, coordinate cross-functional inputs, drive drafting timelines and review cycles, and ensure submissions reflect a unified and well-substantiated OCC position.
• Support the preparation of background memos, briefing books, talking points, and presentations to support OCC senior leaders in advance of meetings, hearings, public consultations, and other engagements with regulators, standard-setting bodies, and industry groups.
• Support the management of incoming regulatory information requests from regulators, government organizations, industry partners, and other external stakeholders.
• Coordinate with departments across OCC, including Legal, Compliance, Risk, Financial Risk Management, and relevant business units, to gather responsive information and draft responses for senior leadership approval.
• Maintain an internal regulatory calendar and tracker capturing pending rulemakings, comment-letter deadlines, regulatory engagements, and key industry milestones, providing regular status updates and recommendations to senior leadership.
• Collaborate broadly across the Government Relations department and other OCC functions, contributing to departmental priorities, supporting colleagues on cross-cutting initiatives, and flexing across responsibilities as the needs of the department evolve.
• Contribute to internal newsletters and other communications relating to regulatory policy.
• Serve as point person on special regulatory projects as directed by the Principal of Regulatory Policy or the Executive Director, Head of Government Relations.

Benefits

• A hybrid work environment, up to 2 days per week of remote work
• Tuition Reimbursement to support your continued education
• Student Loan Repayment Assistance
• Technology Stipend allowing you to use the device of your choice to connect to our network while working remotely
• Generous PTO and Parental leave
• 401k Employer Match
• Competitive health benefits including medical, dental and vision

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level